EFTA Document EFTA01356450

From: Melisa Venegas Sent: 6/3/2016 10:15:00 AM To: Armen Brash Andrew Gallivan • Michael 5 Jacoby ; Mark LaRoe CC: Vaishali-P Mehta Subject: RE: June 2016 AM L/KYC Escalation Reports ll] Attachments: US_Onshore.xlsx Classification: For Internal use only File attached. Melisa Venegas Deutsche Bank Wealth Management 160 Wail Street 10005-2836 New York, NY, USA Tel.: -I Email Classification: For Internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29s Low 1 11 12s • some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4 Overdue High Risk in Person Meetings 26 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042313 SDNY_GM_00188497 EFTA01356450